- NBT Bank (Burlington, VT)
- …team player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA ... Series 7, Series 63 and life insurance license or a Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review meetings to uncover additional investment and insurance needs and to develop deeper relationships through financial… more
- Insight Global (San Francisco, CA)
- …confidence running product demos. -Experience selling to financial advisors, RIAs or broker - dealer networks (strong plus). -Willingness to grow with a scaling ... company and take on new challenges. more
- SMBC (Jersey City, NJ)
- …as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... a Registrations team. + Understanding of industry best practices to allow for benchmarking. + Deep knowledge of relevant FINRA, SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the… more
- SMBC (Jersey City, NJ)
- …+ Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a financial ... services firm. + Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting. + Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs. + Excellent written and… more
- Athene (CA)
- …team who will focus on maintaining and building Athene's presence in the Direct/Independent Broker Dealer Channel. The RVP will partner with the Division Sales ... VP in developing and leading the wholesaling efforts with our clients. The RVP must be currently located within the territory - Los Angeles, CA. Candidates residing in other locations will not be considered. Accountabilities: + Work closely with VP/Division… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... subsidiaries and affiliates. **Role Objectives** + Provide administrative project support to the Development team, which may involve drafting or combining initial storyboards, collecting and compiling course feedback, and testing course functionality, along… more
- JPMorgan Chase (Chicago, IL)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... + Strong motivator and self-starter. + Demonstrated ability to innovate and think strategically. + Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of… more
- Columbia Bank (Los Angeles, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... job responsibilities - knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. +… more
- PNC (Strongsville, OH)
- …web applications for Derivatives (Rates, Currency, Commodities, Credit) and Fixed Income broker - dealer trading and sales teams. you will be based either ... in Pittsburgh, PA or Strongsville, OH . The position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis. Key Responsibilities: * Serve as a hands-on technical leader, driving the design and… more